Carla L. Downing
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carla Lind Downing, who also goes by Carla Downing, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1986. Carla had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2004 - July 26, 2006
WINDWARD SECURITIES CORPORATION
December 5, 1986 - October 5, 2012
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WINDWARD SECURITIES CORPORATION
CRD#: 127716 / SEC#: , 8-66037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERSON PILOT SECURITIES CORPORATION | DIRECT OWNER | 3870 |
| ANGARELLA, RONALD RICHARD | DIRECTOR CHAIRMAN & CEO | 1785580 |
| ARMSTRONG, DAVID EDWARD | VICE PRESIDENT | 2465424 |
| BOOTH, DAVID KENNETH | PRESIDENT & DIRECTOR | 2030529 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT | 1745774 |
| CORNELIO, CHARLES CARMEN | DIRECTOR | 2081506 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT & DIRECTOR | 831061 |
| KENNEDY, MARTY EUGENE | VICE PRESIDENT | 2556052 |
| MANGO, PAULA LEMIRE | ASST. VP, PRIVACY AND AML OFFICER | 1060500 |
| MURRAY, MICHAEL FRANCIS | VICE PRESIDENT | 2074275 |
| SALAMY, KIM JAY | ASSISTANT VICE PRESIDENT | 1545465 |
| SALAMY, MARGARET ANN | ASSISTANT VICE PRESIDENT | 1578398 |
| STEVENSON, MICHAEL ROBERT | ASSISTANT VICE PRESIDENT | 2432668 |
| WAGNER, KENNETH LEE | CHIEF COMPLIANCE OFFICER | 1113763 |
| WESTON, JOHN ARTHUR | VICE PRESIDENT & TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Red Flags
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